SEC Form 4 · accession 0001562180-16-003510
SAIA INC · SAIA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brian A Balius
Officer — VP-Transportation and Engineer
Period of report
Nov 11, 2016
Accepted (ET)
Nov 15, 2016 · 5:01 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001177702
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 11, 2016 | M | 10,065 | $11.00 | A | 43,266 | D | |
| Common Stock | Nov 11, 2016 | M | 9,510 | $27.28 | A | 52,776 | D | |
| Common Stock | Nov 11, 2016 | S | 10,065 | $40.7538 | D | 42,711 | D | |
| Common Stock | Nov 11, 2016 | S | 9,510 | $40.7538 | D | 33,201 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (Right to Buy) | $11.00 | Nov 11, 2016 | M | 10,065 | D | Feb 2, 2015 | Feb 2, 2019 | Common Stock | 10,065 | 0 | D |
| Stock Options (Right to Buy) | $27.28 | Nov 11, 2016 | M | 9,510 | D | Apr 30, 2016 | Apr 29, 2020 | Common Stock | 9,510 | 0 | D |
| Phantom StockF1,F2,F3 | — | holding | — | — | — | — | — | Common Stock | 9,389 | 9,389 | D |
| Stock Options (Right to Buy) | $43.01 | holding | — | — | — | Feb 3, 2018 | Feb 3, 2022 | Common Stock | 6,750 | 6,750 | D |
| Stock Options (Right to Buy) | $31.50 | holding | — | — | — | Feb 4, 2017 | Feb 3, 2021 | Common Stock | 6,570 | 6,570 | D |
| Stock Options (Right to Buy) | $27.45 | holding | — | — | — | Feb 8, 2019 | Feb 8, 2023 | Common Stock | 12,210 | 12,210 | D |
Explanation of responses
- F1The conversion rate of this derivative security on November 11, 2016 is 1.2183 resulting in 11,439.10 shares of common stock (underlying security in column 7).
- F2Immediate
- F3The shares of phantom stock become payable in the Company's common stock upon reporting person's termination of service as an employee, in accordance with the terms of the Plan.